This is a free enterprise country. It would be, in my opinion, unlawful to interfere with a newer and probably better monitary system.
Why still, is there any reason for trades to be not reportable? Secrecy within trading needs to stop. There needs to be more transparency from all parties involved. “...considering including in FINRA-disseminated short interest data, where available the TSO and public float for securities?” What do you mean “where available”? You are the Financial Regulatory Authority, you should make that
In observance of Christmas, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, December 25, 2024. In observance of New Year's Day, the FINRA/Exchange Trade Reporting Facilities (TRFs) will be closed on Wednesday, January 1, 2025.
SUGGESTED ROUTING:*
Internal AuditOperationsSystemsTrading*These are suggested departments only. Others may be appropriate for your firm.
As of October 23, 1991, the following 24 issues listed on the Nasdaq National Market, bringing the total number of issues to 2,618:
Symbol
Company
SOES Entry Date
Execution Level
DTLN
Data Transmission Network Corporation
10/1/91
1000
LTCO
I do not initiate any investments on margin. I use my own funds for investing in leveraged etfs. If a firm wants to provide leverage for me with their investment vehicle, I should have the right to utilize it without any interference from your organization. The last time I checked, this is still a free country, although sliding into the abyss, rapidly thanks to organizations like yourself. It is
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Publication Date: August 11, 2025Interpretations are marked in blue background beneath the rule text to which they relate. 17a-4 Records to be preserved by certain exchange members, brokers and dealers.This section applies to the following types of entities: A member of a national securities exchange who transacts a business in securities directly with others than members of a
Summary
FINRA is issuing this Notice to remind firms they must register with FINRA CAT, LLC (FINRA CAT) for reporting to the Consolidated Audit Trail (CAT). CAT registration commenced on March 18, 2019, and will run through June 27, 2019. All Industry Members, as defined under the CAT NMS Plan, that will have a CAT reporting obligation must register during this window.
All questions regarding
SUGGESTED ROUTING*
Internal Audit
Operations
Systems
Trading
*These are suggested departments only. Others may be appropriate for your firm.
As of December 13, 1988, the following four issues joined the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 2,
INFORMATIONAL
INSITE Reporting Requirements
Effective Date: December 10, 2001
SUGGESTED ROUTING
KEY TOPICS
Executive Representatives
Legal & Compliance
Operations
Senior Management
INSITE
Reporting Requirements
Executive Summary
On November 27, 2001, the Securities and Exchange Commission (SEC) approved proposed National Association of Securities Dealers,
TO: All NASD Members and Level 2 and Level 3 Subscribers
On Tuesday, February 16, 1988, the following nine issues are scheduled to join the NASDAQ National Market System, bringing the total number of issues in NASDAQ/NMS to 3,030:
Symbol*
Company
Location
CXRLD
